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First Trust Small Cap Growth AlphaDEX Fund (FYC) Institutional Ownership

First Trust Small Cap Growth AlphaDEX Fund logo
$115.36 +1.54 (+1.35%)
Closing price 10/9/2026 04:00 PM Eastern
Extended Trading
$115.39 +0.03 (+0.03%)
As of 10/9/2026 08:00 PM Eastern
Extended trading is trading that happens on electronic markets outside of regular trading hours. This is a fair market value extended hours price provided by Massive. Learn more.
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Institutional Ownership Changes (13F Filings) for First Trust Small Cap Growth AlphaDEX Fund (NASDAQ:FYC)

Number of
Institutional Buyers
(last 12 months)
99
Total
Institutional Inflows
(last 12 months)
$158.38M
Number of
Institutional Sellers
(last 12 months)
42
Total
Institutional Outflows
(last 12 months)
$21.14M
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Skip Chart & View Institutional Buying and Selling Data

FYC Institutional Buying and Selling by Quarter

First Trust Small Cap Growth AlphaDEX Fund Major Shareholders & Ownership History

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Reporting DateMajor Shareholder NameShares HeldMarket Value% of PortfolioQuarterly Change in SharesOwnership in CompanyDetails
10/9/2026Eclectic Associates Inc. ADV154,920$17.87M2.0%-2.1%1.324%
10/9/2026First Heartland Consultants Inc.2,188$252K0.0%-54.1%0.019%
10/7/2026Rhodes Investment Advisors Inc. ADV10,197$1.18M0.8%N/A0.086%
9/23/2026Envestnet Asset Management Inc.193,051$24.58M0.0%+4.1%1.622%
9/11/2026Bullseye Investment Management LLC400$51K0.0%N/A0.004%
9/9/2026Integrated Wealth Concepts LLC45,218$5.76M0.0%-8.7%0.421%
9/9/2026IFP Advisors Inc90,820$11.57M0.2%+4.6%0.845%
9/9/2026Baird Financial Group Inc.124,071$15.80M0.0%+70.2%1.154%
9/2/2026Citadel Advisors LLC27,644$3.52M0.0%+117.5%0.257%
8/24/2026Carlson Financial Inc.2,737$349K0.2%-4.9%0.025%
8/23/2026Ameritas Advisory Services LLC1,783$227K0.0%-26.0%0.017%
8/22/2026Concurrent Investment Advisors LLC99,023$12.61M0.1%-1.4%0.921%
8/21/2026XML Financial LLC2,950$376K0.0%+22.9%0.027%
8/21/2026Bedel Financial Consulting Inc.78,032$9.94M0.9%+1.1%0.726%
7/10/2026Fulcrum Equity Management1,959$249K0.2%N/A0.019%
7/10/2026Redhawk Wealth Advisors Inc.39,716$5.06M0.5%N/A0.384%
7/10/2026Wealthcare Advisory Partners LLC5,720$728K0.0%N/A0.055%
7/9/2026World Equity Group Inc.6,368$811K0.2%+6.6%0.062%
7/9/2026Worth Asset Management LLC2,484$316K0.1%N/A0.024%
7/8/2026Eclectic Associates Inc. ADV158,288$20.16M2.3%-0.6%1.544%
7/7/2026Paller Financial Services Inc30,264$3.85M2.9%-4.8%0.295%
7/7/2026M.E. Allison & CO. Inc.1,745$222K0.1%N/A0.016%
7/7/2026Willner & Heller LLC9,093$1.16M0.7%-1.3%0.089%
7/7/2026CoreCap Advisors LLC372$47K0.0%-23.9%0.004%
6/18/2026Western Wealth Management LLC11,492$1.11M0.0%+4.7%0.123%
6/3/2026NewEdge Advisors LLC707$69K0.0%-22.7%0.008%
5/19/2026Western Wealth Management LLC11,492$1.11M0.0%+4.7%0.123%
5/19/2026Bank of America Corp DE244,266$23.69M0.0%+21.2%2.612%
5/19/2026Arkadios Wealth Advisors2,610$253K0.0%N/A0.028%
5/18/2026Royal Bank of Canada171,140$16.60M0.0%+4.4%1.830%
5/15/2026Gateway Wealth Partners LLC17,972$1.74M0.1%+105.3%0.192%
5/13/2026Cetera Investment Advisers289,684$28.09M0.0%+13.6%3.098%
5/8/2026PNC Financial Services Group Inc.92,515$8.97M0.0%+20.5%0.989%
5/7/2026World Equity Group Inc.5,973$579K0.1%-3.1%0.064%
5/5/2026D.A. Davidson & CO.10,735$1.04M0.0%N/A0.115%
5/5/2026Geneos Wealth Management Inc.20,549$1.99M0.0%+41.8%0.220%
5/4/2026Bedel Financial Consulting Inc.77,173$7.48M0.8%+3.7%0.825%
5/1/2026Fifth Third Bancorp6,147$596K0.0%N/A0.066%
4/30/2026Kestra Advisory Services LLC20,131$1.95M0.0%+13.7%0.215%
4/30/2026Quantum Portfolio Management LLC13,125$1.27M0.0%-1.2%0.140%
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4/29/2026Richmond Investment Services LLC146,944$14.25M2.3%+2.7%1.572%
4/29/2026Warner Group LLC19,069$1.85M1.2%+62.9%0.204%
4/28/2026Stephens Inc. AR3,946$383K0.0%+18.1%0.042%
4/28/2026Paller Financial Services Inc31,793$3.08M2.6%-2.4%0.340%
4/27/2026Private Advisor Group LLC27,078$2.63M0.0%+4.5%0.290%
4/24/2026Barnes Pettey Financial Advisors LLC4,614$447K0.2%+39.1%0.049%
4/22/2026Janney Montgomery Scott LLC53,085$5.15M0.0%+17.9%0.574%
4/22/2026Sylvest Advisors LLC8,510$825K0.4%+1.2%0.092%
4/21/2026Echo Wealth Management LLC3,440$334K0.2%-23.4%0.037%
4/21/2026Independent Wealth Network Inc.4,896$475K0.1%-47.6%0.053%
4/20/2026Kestra Private Wealth Services LLC3,588$348K0.0%-7.7%0.039%
4/17/2026Certified Advisory Corp19,637$1.90M0.2%+2.3%0.212%
4/17/2026Stonebridge Financial Group LLC MO3,840$372K0.3%N/A0.042%
4/16/2026Founders Financial Securities LLC9,795$1.02M0.1%-44.2%0.106%
3/17/2026Rockefeller Capital Management L.P.508$49K0.0%-87.3%0.006%
2/18/2026NewEdge Advisors LLC915$88K0.0%+137.7%0.010%
2/18/2026IHT Wealth Management LLC2,200$211K0.0%N/A0.024%
2/17/2026Cetera Investment Advisers255,008$24.51M0.0%+13.6%2.818%
2/17/2026Equitable Holdings Inc.55,876$5.37M0.0%-5.5%0.617%
2/17/2026Osaic Holdings Inc.93,138$8.95M0.0%+26.0%1.029%
2/17/2026Advisory Services Network LLC2,098$202K0.0%+91.1%0.023%
2/17/2026&PARTNERS14,221$1.37M0.0%N/A0.157%
2/17/2026Blair William & Co. IL325$31K0.0%N/A0.004%
2/17/2026Royal Bank of Canada163,957$15.76M0.0%+14.0%1.812%
2/16/2026MML Investors Services LLC66,703$6.41M0.0%+1.3%0.737%
2/16/2026Mariner LLC2,825$272K0.0%+13.0%0.031%
2/16/2026Aptus Capital Advisors LLC2,136$205K0.0%N/A0.024%
2/13/2026Kestra Advisory Services LLC17,709$1.70M0.0%-0.8%0.196%
2/13/2026First Trust Advisors LP216,354$20.80M0.0%-12.0%2.391%
2/13/2026Golden State Wealth Management LLC323$31K0.0%-69.7%0.004%
2/13/2026Wells Fargo & Company MN363,672$34.96M0.0%+28.9%4.018%
2/12/2026Jane Street Group LLC35,146$3.38M0.0%-26.0%0.388%
2/12/2026Orion Porfolio Solutions LLC4,184$402K0.0%+10.5%0.046%
2/12/2026Richmond Investment Services LLC143,085$13.75M2.4%+2.6%1.581%
2/12/2026Index Technologies Group LLC8,075$776K0.8%N/A0.089%
2/12/2026Quantum Portfolio Management LLC13,289$1.28M0.6%-18.7%0.147%
2/12/2026Commonwealth Equity Services LLC38,973$3.75M0.0%+18.3%0.431%
2/12/2026Steward Partners Investment Advisory LLC20,640$1.98M0.0%+14.0%0.228%
2/11/2026Gateway Wealth Partners LLC8,754$841K0.1%+1.5%0.097%
2/11/2026Janney Montgomery Scott LLC45,037$4.33M0.0%+53.2%0.498%
2/11/2026Capital Analysts LLC853$82K0.0%-30.3%0.009%
2/11/2026LPL Financial LLC1,183,630$113.77M0.0%+43.0%13.079%
2/11/2026O Shaughnessy Asset Management LLC2,302$221K0.0%N/A0.025%
2/10/2026Clear Point Advisors Inc.7,522$723K0.6%-3.0%0.083%
2/10/2026Hazlett Burt & Watson Inc.1,650$158K0.1%+65.0%0.018%
2/10/2026Founders Financial Securities LLC17,560$1.69M0.1%N/A0.194%
2/10/2026Northwestern Mutual Wealth Management Co.43,329$4.17M0.0%+123.5%0.479%
2/9/2026Kingsview Wealth Management LLC44,510$4.28M0.1%-37.6%0.492%
2/9/2026Strategic Equity Management9,374$901K0.3%-7.6%0.104%
2/9/2026Harbour Investments Inc.20,988$2.02M0.0%+7.4%0.232%
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2/9/2026Prospera Financial Services Inc4,920$473K0.0%-15.1%0.054%
2/6/2026Empirical Asset Management LLC16,635$1.60M0.2%+64.0%0.184%
2/6/2026Global Retirement Partners LLC1,187$114K0.0%+146.8%0.013%
2/6/2026IFP Advisors Inc88,816$8.54M0.2%-0.6%0.981%
2/6/2026PNC Financial Services Group Inc.76,769$7.38M0.0%+21.1%0.848%
2/6/2026Warner Group LLC11,706$1.13M0.7%+372.0%0.129%
2/5/2026Stephens Inc. AR3,341$321K0.0%+29.5%0.037%
2/5/2026Moneywise Inc.12,738$1.22M0.5%-50.4%0.142%
2/5/2026Western Wealth Management LLC10,981$1.06M0.0%+25.8%0.123%
2/5/2026Proactive Wealth Strategies LLC10,905$1.05M0.4%+13.1%0.122%


FYC Institutional Ownership - Frequently Asked Questions

During the previous two years, 156 institutional investors and hedge funds held shares of First Trust Small Cap Growth AlphaDEX Fund. The most heavily invested institutionals were LPL Financial LLC ($113.77M), Wells Fargo & Company MN ($34.96M), Raymond James Financial Inc. ($29.41M), Cetera Investment Advisers ($28.09M), Envestnet Asset Management Inc. ($24.58M), Bank of America Corp DE ($23.69M), and First Trust Advisors LP ($20.80M).Learn more on First Trust Small Cap Growth AlphaDEX Fund's institutional investors.

Of the 140 institutional investors that purchased First Trust Small Cap Growth AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have bought the highest volume of shares: LPL Financial LLC ($411.92K), Raymond James Financial Inc. ($329.55K), Wells Fargo & Company MN ($235.54K), Cetera Investment Advisers ($170.74K), Bank of America Corp DE ($164.77K), Eclectic Associates Inc. ADV ($147.76K), and Richmond Investment Services LLC ($122.80K).

Institutional investors have bought a total of 1,628,652 shares in the last 24 months. This purchase volume represents approximately $158.38M in transactions.

Of the 42 institutional investors that sold First Trust Small Cap Growth AlphaDEX Fund's stock in the last 24 months, the following investors and hedge funds have sold the highest volume of shares: Bank of America Corp DE ($50.99K), First Trust Advisors LP ($38.53K), Kingsview Wealth Management LLC ($29.78K), Redhawk Wealth Advisors Inc. ($15.00K), Moneywise Inc. ($13.45K), Jane Street Group LLC ($12.37K), and Founders Financial Securities LLC ($7.77K).

Institutional investors have sold a total of 220,113 shares in the last 24 months. This volume of shares sold represents approximately $21.14M in transactions.


Related Companies

Institutional ownership data for NASDAQ:FYC is compiled from quarterly 13F filings submitted to the U.S. Securities and Exchange Commission (SEC), with the most recent received on 10/9/2026. New 13F filings are added each quarter as they're published.
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